Search for: "In Re Securities and Exchange Commission"
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10 Feb 2022, 9:03 pm
Securities and Exchange Commission (SEC) proposed changes to its whistleblower program rules. [read post]
1 Mar 2023, 12:38 pm
Alumna of the Year Joan McKown Joan McKown, LW’83, has more than 30 years of experience in Securities and Exchange Commission (SEC) enforcement and financial regulatory matters including investigations, exams, internal investigations, and disputes throughout the United States. [read post]
31 May 2018, 9:45 pm
Securities and Exchange Commission (SEC) obtained an emergency court order freezing the assets of Titanium Blockchain Infrastructure Services Inc. to halt “ongoing fraud” related to Titanium’s initial cryptocurrency coin offering. [read post]
19 Jan 2017, 9:30 pm
Recent federal court decisions finding that both the administrative enforcement strategy used by the Securities and Exchange Commission (SEC) and that the structure of the Consumer Financial Protection Bureau (CFPB) were unconstitutional should not be seen as a threat to Dodd-Frank, Zaring argued, because “it is unrealistic to order that these programs be dismantled” and thus “the constitutional law remedies…cannot be taken seriously. [read post]
17 Nov 2016, 9:30 pm
Securities and Exchange Commission (SEC) who oversaw over 50 significant rulemakings related to financial regulation and 2,850 enforcement actions, but who has been criticized by progressive groups as being too lenient towards some large banks, announced that she will step down at the end of the Obama administration, two years before the end of her term—a move that will give President-elect Donald Trump the opportunity to appoint a new SEC Chair and may… [read post]
26 Sep 2016, 4:43 am
United States, in which “the justices have been asked to decide how tangible the tipster’s benefit must be” in an insider trading case, may affect the Securities and Exchange Commission’s case against hedge fund manager Leon Cooperman, arguing that if “the justices come up with a very restrictive definition of what constitutes a personal benefit for a tipster,” that could bolster Cooperman’s defense. [read post]
4 Oct 2022, 5:13 am
According to Regulations.gov, the Commission received over 176,000 public comments in the rule review. [read post]
28 Nov 2019, 9:05 pm
Securities and Exchange Commission require public companies to disclose information on the risks climate change poses to their business and that the Federal Reserve Board require financial firms to consider climate risk in their capital planning process. [read post]
6 Dec 2018, 9:30 pm
Department of State for sharing election security information with other countries. [read post]
26 Oct 2007, 8:38 am
In an Oct. 25 press release, the labor investor urged the company to appoint Lynn Turner, a former chief accountant at the Securities and Exchange Commission. [read post]
28 Feb 2007, 7:52 am
[1] Nevertheless, the Group of Seven (G7), of which the United States is a member and comprises the seven wealthiest countries in the world, vowed to continue looking into what new measures should be taken in order to impose stricter scrutiny over the risks being taken by hedge funds, and the risks they pose to the global economy. [2]The total assets under management in the hedge fund industry rose in 2006 to nearly $1.4 trillion, up 29% from the year before, with a record $126.5 billion of… [read post]
10 Aug 2017, 9:30 pm
Securities and Exchange Commission to get involved. [read post]
15 Apr 2021, 11:03 pm
Securities and Exchange Commission should mandate that large companies disclose their environmental and societal impacts to investors and regulate communications, campaigning, and voting in company elections. [read post]
28 Jul 2023, 7:34 am
Visa said in a regulatory filing made Wednesday with the Securities and Exchange Commission (SEC) that the DOJ sought more information about debit cards and other payment methods, according to the report. . . . [read post]
2 Aug 2007, 11:15 pm
" The Indenture requires that Landry's furnish to the Trustee-within the time periods specified by the Securities and Exchange Commission's (the "SEC" or the "Commission") rules and regulations-all quarterly and annual financial information required to be contained on Forms 10-Q, 10-K, and 8-K. [read post]
6 Oct 2016, 9:30 pm
The Securities and Exchange Commission (SEC) announced that Credit Suisse AG agreed to pay a $90 million fine to settle charges that it misrepresented the methodology it used to determine an important wealth management performance metric. [read post]
8 Jun 2017, 9:30 pm
Securities and Exchange Commission (SEC) can disgorge companies of profits attained through fraud so long as the SEC does so within five years of any claim of fraud. [read post]
15 May 2011, 12:32 pm
In response to these realities, the Federal Communications Commission is considering requiring robust disclosure by TV stations of the major donors of political ads; the Securities and Exchange Commission is considering requiring public corporations to disclose to stockholders their spending on politics, and the White House has drafted an executive order to require companies applying for federal contracts to disclose their spending on political campaigns. . . . [read post]
15 May 2011, 3:44 pm
In response to these realities, the Federal Communications Commission is considering requiring robust disclosure by TV stations of the major donors of political ads; the Securities and Exchange Commission is considering requiring public corporations to disclose to stockholders their spending on politics, and the White House has drafted an executive order to require companies applying for federal contracts to disclose their spending on political campaigns. . . . [read post]
29 Jul 2024, 2:27 pm
Douglas was a law professor at Yale, but later headed the Securities and Exchange Commission. [read post]
